Cantor Fitzgerald: Regulatory Inquiry Compliance Officer Cantor Fitzgerald: Regulatory Inquiry Compliance  …

Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 02 Oct 19
Competitive
Cantor Fitzgerald
in New York, NY, United States
Permanent, Full time
Last application, 02 Oct 19
Competitive
Cantor Fitzgerald: Regulatory Inquiry Compliance Officer
CANTOR FITZGERALD & CO. REGULATORY INQUIRIES COMPLIANCE OFFICER (Location: New York, NY)
GROUP OVERVIEW
The Securities Investigations and Regulatory Examinations Group (" SIRE ") at Cantor Fitzgerald & Co. (" CF&Co. ") is responsible for handling and submitting accurate, complete and timely responses to regulatory inquiries and sweep examinations of CF&Co. and the Firm's broker-dealer, futures and commodities merchant, and swaps dealer affiliates by Securities and Commodities regulators, Self-Regulatory Organizations, Securities Exchanges and State and Federal Agencies.
JOB DESCRIPTION
• Work under the direction of SIRE's Managing Regulatory Counsel, handle internal regulatory filings and perform administrative due diligence related to inquiries and examinations
• Submit accurate, complete and timely responses (including relevant documentation) to the Firm's regulators, and maintain internal archives for future reference
• Speak with regulators on a daily basis regarding the Firm's submissions and explain and/or clarify responses, including information contained in exhibits
• Manage and foster relationships with regulators by demonstrating the Firm's good faith, cooperative approach and institutional credibility
• Assist in other regulatory and/or compliance matters and special projects when needed
RESPONSIBILITIES
• Research, analyze and respond to regulatory inquiries and/or sweep examinations, including third-party subpoenas, from the SEC, CFTC, FINRA, CBOE, Securities Exchanges, and State and Federal agencies relating to potential statutory and SRO/Exchange rule violations
• Analyze complex trading data and prepare written responses and statements, interact with Legal, Compliance, Operations, Regulatory Control, Trading, Business Management and Information Technology personnel, inside and outside counsels, and any other relevant employees as necessary in fact gathering and in preparation of the Firm's responses
• Work with Compliance, Business and IT personnel regarding "real time" trading situations presented by regulators relating to regulatory and trade reporting issues, including confirmation that the Firm is complying with any of the rules at issue
QUALIFICATIONS
• Relevant experience in Regulatory Inquiry-related roles is preferred
• Ability to understand/manage communications between the Firm's businesses and regulators
• Excellent project and time management skills and computer proficiency are essential
• Strong organizational, research, analytical, written and communication skills are required to excel in this position
• Must be able to work independently, proactively and in a team environment as needed
• Understanding of the regulatory environment as it relates to the securities industry
• General understanding and familiarity of FINRA Rules and/or the Securities Act of 1933 or the Exchange Act
• Bachelor's degree and Law degree are required. Bar admission in New York is preferred
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